Summary
Overview
Work History
Education
Skills
Certification
Timeline
Generic

Joshua Bromberg

Hempstead,NY

Summary

Focused financial professional eager to fulfill [Job Title] role within team. Aiming to apply financial analysis and due diligence expertise acquired over 25 years of successful financial and tax industry performance.

Overview

25
25
years of professional experience
1
1
Certification

Work History

Tax Professional

James P. O'Day, CPA, P.C.
02.2024 - Current
  • Completed and filed returns with tax departments at local, state, and federal levels.
  • Contacted IRS or other relevant government organizations on behalf of client to address issues related to tax self-preparation.
  • Consulted with clients to assess and mitigate future tax liabilities and determine eligibility for tax abatement.
  • Analyzed financial records to verify accuracy of tax returns.

Executive Operational Assistant / Licensed Sale Representative

Merrick Financial Group
08.2016 - 02.2024
  • Processed trades in clients brokerage accounts. Equities, Mutual Funds, Bonds, and Annuities.
  • Integrated functional strategies, utilizing business experience to reach financial and operational goals.
  • Researched and developed new strategies to achieve company objectives.
  • Developed operational functions essential for increasing firm's productivity such as product promotion and placement.
  • Evaluated, established and implemented compliance standards and guidelines to assure regulatory satisfaction.
  • Managed and supervised firm operations daily including sales, purchases, supply levels, resourcing, and distribution.

Tax Preparer

CPA Tax Planning
09.2013 - 04.2019
  • Responsible for preparing income tax returns of business firms and individuals.
  • Calculate sales tax returns and depreciation for various tax reports.
  • Answer client queries regarding tax codes and appropriate deductions.
  • Provide payroll services to corporate firms and businesses.
  • Perform e-filing tasks as per schedule.
  • Addressed complex tax issues and tax deduction problems of clients.

Director Of Operation / Licensed Sales Representative

Bay Ridge Financial Group
09.2013 - 08.2016
  • Integrated functional strategies, utilizing business experience to reach financial and operational goals.
  • Researched and developed new strategies to achieve company objectives.
  • Developed operational functions essential for increasing firm's productivity such as product promotion and placement.
  • Evaluated, established and implemented compliance standards and guidelines to assure regulatory satisfaction.
  • Managed and supervised firm operations daily including sales, purchases, supply levels, resourcing, and distribution.

Consultant - Treasury

Ridge Clearing and Outsourcing
02.2012 - 04.2012
  • Processing incoming and outgoing Federal Funds, ACH and Intercompany wires.
  • Scan, verify and book incoming physical checks into customer and internal accounts.
  • Daily balancing of internal bank accounts using all backup from previous day's work.
  • Liaise with contra parties regarding funding and settlements.
  • Responsible for backing up daily work and saving into group share drives.

Consultant - International Settlements

Ridge Clearing and Outsourcing
02.2010 - 03.2012
  • USD DTC and Canadian CDS trade Settlements for multiple clients.
  • Prepared daily failed trades report.
  • Provided status updates for all unmatched and non settle trades.
  • Advised internal and external support staff what trades to process and any special instructions needed.
  • Processed daily SPO charges, tag purges of all settled trades, and end of day journal entries.

Senior Securities Processing Analyst, International Prime Brokerage

Citigroup
05.2007 - 12.2010
  • Processed domestic and international dividend, interest payments, fed fund wires, corporate actions, and foreign currency repatriations for US, Canadian, and Latin American securities to overseas hedge funds.
  • Reconciled payable / receivable, stock record and DTC ledgers on a daily basis.
  • Compiled report of all cash and stock breaks.
  • Prepared weekly operations report which consisted of MIS numbers such as number of dividends processed and email queries answered.
  • Established tax form process where customers were advised what forms they need and provided central location to send forms in for approval.
  • Entered tax withholding statements and applied discounted withholding rates to clients with proper tax forms on file.
  • Liaised with internal counterparties and paying agents regarding claims owed based on loans, borrows and failed trades.
  • Experience with domestic and international Equities, Bonds, Mutual Funds, Treasuries, and Options.

Senior Service Representative, Dividends Credit Research

Citigroup
04.2005 - 05.2007
  • Researched outstanding credit items to determine who funds were owed to.
  • Prepared weekly operations report which consisted of MIS numbers such as number of items identified and associated value.
  • Created a training manual for distribution and implementation.
  • Trained all new employees on policies and procedures.

Trainer / Senior Registered Representative

Citigroup
06.2002 - 04.2005
  • Prepared performance evaluations for all call center representatives.
  • Trained current employees and new hires on all aspects of Citigroup operations and back office policies and procedures.
  • Created training manuals for distribution and implementation.
  • Facilitated training classes for all employees.
  • Participated in weekly trainer meetings to discuss policy updates and performance reviews.
  • Traveled to out of state branches to train and support new financial executives.
  • Proactive in taking on supervisory responsibilities.

Registered Representative / Trading Specialist

Citigroup
02.2000 - 06.2002
  • Fielded incoming phone calls from clients and financial executives.
  • Executed a large number of stock, option, fixed income, mutual fund, UIT and structured product trades.
  • Assisted clients and financial executives with placing their trades and all client service issues.
  • Participated in three different brokerage conversions, change of clearing firms and two bank mergers.

Education

Bachelor of Science - Business Economics

State University of New York College At Oneonta
Oneonta, NY
05-1999

Skills

  • Microsoft Office Word Excel Outlook SharePoint DTC Bloomberg ADP Broad Ridge Arrow BPS SSCnet Global Framework Fed Wire DFL Manager E Remit Pro Check Capture ATS Account Lookup Branchnet Morningstar Tax Wize Pro Systems Red Tail Client Works Google Docs Sigma Tax Pro - Tax Slayer

Certification

  • Series 7 / 63 Securities License
  • Life and Health License
  • Tax Preparation Certification
  • CNP - Certified Notary Public

Timeline

Tax Professional

James P. O'Day, CPA, P.C.
02.2024 - Current

Executive Operational Assistant / Licensed Sale Representative

Merrick Financial Group
08.2016 - 02.2024

Tax Preparer

CPA Tax Planning
09.2013 - 04.2019

Director Of Operation / Licensed Sales Representative

Bay Ridge Financial Group
09.2013 - 08.2016

Consultant - Treasury

Ridge Clearing and Outsourcing
02.2012 - 04.2012

Consultant - International Settlements

Ridge Clearing and Outsourcing
02.2010 - 03.2012

Senior Securities Processing Analyst, International Prime Brokerage

Citigroup
05.2007 - 12.2010

Senior Service Representative, Dividends Credit Research

Citigroup
04.2005 - 05.2007

Trainer / Senior Registered Representative

Citigroup
06.2002 - 04.2005

Registered Representative / Trading Specialist

Citigroup
02.2000 - 06.2002

Bachelor of Science - Business Economics

State University of New York College At Oneonta

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